FINRA CAT: Capital Market Solutions Simplifies CAT Compliance with Cost-effective, Accurate, and Regulatory Success-focused Tools

 April 22, 2025 – New York, USA | FINRA CAT compliance has long posed significant challenges to firms due to its complex requirements for data reporting, validation, and reconciliation. To address these challenges, Capital Market Solutions (CMS) offers a robust and well-established cloud-based CAT compliance platform. This solution has already helped countless firms reduce implementation costs, improve reporting accuracy, and ensure long-term regulatory success. Designed for scalability and precision, the RSMS platform has become a go-to choice for financial firms seeking effective CAT regulatory reporting solutions.

CMS leverages the power of its RSMS CAT Recon and CATAlyst modules to simplify CAT report compliance. These solutions offer end-to-end support, from CAT data validation to audit trail generation, allowing firms to seamlessly adapt to complex regulatory requirements.

Addressing the Challenges of FINRA CAT Compliance


An expert in regulatory compliance commented on the challenges firms face in maintaining consistent CAT compliance: “FINRA CAT compliance is one of the most demanding mandates the securities industry has ever seen. The complexity of meeting stringent regulatory requirements with accurate and timely reporting can be overwhelming, particularly for firms with limited resources and high operational costs. However, firms leveraging RSMS CAT modules by Capital Market Solutions have experienced a significant transformation—simplifying compliance into streamlined and effective processes.”


Understanding CAT Recon and CATalyst

CAT Recon Module

The CAT Recon (Reconciliation) module ensures consistency and accuracy between internal transaction records and submitted CAT reports. With a range of intelligent tools, this module focuses on validating the accuracy of reported data to help firms mitigate compliance risks effectively.

CATAlyst Module

The CATAlyst module is an advanced analytics solution designed to empower firms with the capability to proactively investigate and resolve compliance issues before regulatory authorities raise inquiries. It provides users with deep insights into data extracted from CAT submissions, driving operational improvements and regulatory readiness.

Key Features of RSMS CAT Modules

CMS’s Consolidated Audit Trail Compliance Platform has proven its value in helping firms achieve complete compliance. Its key features include:

  1. Cloud-powered Platform: The cloud-based CAT compliance platform ensures that firms can access comprehensive and updated compliance tools anytime, from anywhere. By avoiding outdated legacy systems, CMS empowers firms to maintain agile operations while reducing costs. Security protocols further ensure that all sensitive CAT data is shielded from unauthorized access.

  2. Advanced CAT Data Validation: Firms using the tool benefit from checks for data accuracy before submission. This reduces non-compliance risks and enhances trust with regulators. Validations run daily, flagging errors or anomalies and preventing manual oversight.

  3. CAT Reconciliation Tool: RSMS’s reconciliation functions enable firms to seamlessly reconcile internal data with submissions in the FINRA repository. Detailed comparisons eliminate reporting discrepancies. Additionally, the tool provides actionable correction mechanisms, ensuring that data integrity remains intact.

  4. Adaptability Across Firm Sizes: The platform scales to meet evolving needs. Firms can easily adopt customized modules that fit their distinct operational frameworks.

How Capital Market Solutions Benefits Its Partners

For firms looking to enhance operational efficiency while guaranteeing compliance, CMS offers the following key benefits:

  • Lower Operating Costs:  Firms save both time and resources with a solution that’s designed for affordability without sacrificing quality or precision.

  • Unmatched Accuracy: RSMS CAT Recon and CATAlyst ensure the highest standards of CAT data validation, reducing errors in submissions and improving overall compliance. These tools identify and address discrepancies before they become problematic.

  • Regulatory Preparedness: Firms gain peace of mind knowing they meet today’s stringent CAT regulatory reporting requirements. Additionally, on-time monitoring helps compliance officers anticipate and address challenges before they escalate.

  • Effortless Integration: The RSMS platform is designed for easy setup and ensures compatibility with existing reporting systems, minimizing onboarding disruptions. This smooth transition enables firms to enhance operations without downtime.

About Capital Market Solutions

Capital Market Solutions (CMS) is a leader in regulatory, compliance, and reporting solutions for investment banks, broker-dealers, hedge funds, and more. For years, CMS has helped firms by providing reliable and flexible tools to meet regulatory demands. The cloud-based RSMS CAT modules are among CMS’s most trusted products, delivering secure, accurate, and efficient compliance processes. By combining smart technology with expert regulatory knowledge, CMS continues to simplify and enhance compliance for financial firms around the world.

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